MiCA penalty-reporting evidence
A source-backed, conservative evidence checklist for CASPs mapping Regulation (EU) 2023/1114 Article 115 reporting of administrative penalties and other administrative measures to ESMA and EBA, including annual aggregate reporting, simultaneous public-disclosure reporting, unpublished records, appeal outcomes, and central-database handoffs.
Informational only. Not legal, regulatory, brokerage, underwriting, or insurance advice.
Penalty-reporting evidence: the ESMA Interactive Single Rulebook text for Regulation (EU) 2023/1114 Article 115 says the competent authority shall, on an annual basis, provide ESMA and EBA with aggregate information regarding administrative penalties and other administrative measures imposed in accordance with Article 111.
Article 115 also says that where Member States have laid down criminal penalties for relevant infringements, competent authorities provide EBA and ESMA annually with anonymised and aggregated data regarding relevant criminal investigations and criminal penalties, and ESMA publishes penalty information in annual reports.
For public disclosures, Article 115 says that where a competent authority has disclosed administrative penalties, other administrative measures, or criminal penalties to the public, it shall simultaneously report them to ESMA. It also covers penalties or measures imposed but not published, appeals and outcomes, final judgments for criminal penalties, and an ESMA central database used for exchange of information between authorities.
This page is an evidence-preparation checklist. It is not a legal interpretation, supervisory-response instruction, penalty assessment, publication instruction, appeal strategy, provider endorsement, broker recommendation, or assurance about any firm, authority report, penalty, measure, appeal, criminal investigation, judgment, database entry, or fact pattern.
Preserve the Article 111 route, competent authority, reporting year, aggregate information owner, included administrative penalties, other administrative measures, source URLs, retrieval dates, and unresolved external-review questions.
Where relevant under Member State rules, track anonymised and aggregated criminal-investigation or criminal-penalty data, final-judgment status, competent-authority receipt marker, and EBA/ESMA submission owner.
Connect Article 114 public-disclosure records to the Article 115 ESMA report marker: publication URL, disclosure timestamp, reported-to-ESMA timestamp or owner, and appeal or annulment update route.
Maintain unpublished administrative penalty or measure files, non-publication context, appeal status, appeal outcome, information-provenance notes, and Article 100 professional-secrecy boundaries.
Track what was communicated for authority-information-exchange purposes, access-boundary assumptions, update dates, EBA/ESMA/competent-authority handoffs, and Article 95/96 cooperation records.
Link penalty-reporting evidence to Article 94 response files, Article 111 penalties, Article 112 factor maps, Article 113 appeals, Article 114 publication records, and Article 101 data-protection notes.
Article 115 covers reporting administrative penalties and other administrative measures to ESMA and EBA, including annual aggregate information, public-disclosure reporting to ESMA, unpublished penalties or measures, appeal outcomes, relevant criminal-penalty data, and ESMA central-database records for authority information exchange.
It turns penalty and measure events into supervisory-reporting evidence: reporting-year files, source URLs, public or unpublished status, appeal outcomes, EBA/ESMA handoffs, and authority-exchange boundaries.
No. It only helps organize conservative, source-backed evidence and handoffs. Reporting, publication, appeal, criminal-penalty, central-database, and data-protection questions depend on competent-authority action, Member State law, and qualified review.